DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
N•••••• A••••••••
Legal name N•••••• A••••••••• I••
Latest filing Feb 16, 2022
First filing on the tape Mar 28, 2012 · 16 filings
RAUM
$120M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$120M as of Feb 16, 2022
Mar 28, 2012$516M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 16, 2022
Mar 28, 20130 then
Employees (5.A)1 as of Feb 16, 2022
Mar 28, 20131 then
Private funds: no history
RAUM -12% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 16, 2022; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $249,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$120M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 479reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• D•••••• W••••• · President, Chief Compliance Officercontrolsince 12/2004 · owns 75% or more
Related persons
Schedule D 7.A
- N•••••• C•••••• M••••••••• I••investment advisernRAUM $30.0M
Advisers that list N•••••• A•••••••• as a related person
- 106451 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 424 to 479Dec 7, 2021 to Feb 16, 2022
- Advisory employees · 3 to 1Dec 7, 2021 to Feb 16, 2022
- Employees · 5 to 1Dec 7, 2021 to Feb 16, 2022
- Discretionary RAUM · $137M to $0Dec 7, 2021 to Feb 16, 2022
- Non-discretionary RAUM · $0 to $120MDec 7, 2021 to Feb 16, 2022
- RAUM · $137M to $120MDec 7, 2021 to Feb 16, 2022
- Accounts · 6 to 424Jul 24, 2020 to Mar 29, 2021
- Advisory employees · 1 to 3Jul 24, 2020 to Mar 29, 2021
- Employees · 1 to 5Jul 24, 2020 to Mar 29, 2021
- Discretionary RAUM · $164M to $137MJul 24, 2020 to Mar 29, 2021
- Individual RAUM · 2833899.0 to unsetJul 24, 2020 to Mar 29, 2021
- RAUM · $164M to $137MJul 24, 2020 to Mar 29, 2021
- Other offices · 1 to 0Mar 22, 2019 to Mar 27, 2020
- Discretionary RAUM · $180M to $164MMar 22, 2019 to Mar 27, 2020
- Individual RAUM · $2.7M to $2.8MMar 22, 2019 to Mar 27, 2020
- RAUM · $180M to $164MMar 22, 2019 to Mar 27, 2020
- Accounts · 5 to 6Nov 26, 2018 to Mar 22, 2019
- Discretionary RAUM · $202M to $180MNov 26, 2018 to Mar 22, 2019
- Individual RAUM · $2.3M to $2.7MNov 26, 2018 to Mar 22, 2019
- RAUM · $202M to $180MNov 26, 2018 to Mar 22, 2019
- HQ city · CARSON CITY to unsetMar 23, 2017 to Mar 27, 2018
- HQ state · NV to unsetMar 23, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Mar 23, 2017 to Mar 27, 2018
- Discretionary RAUM · $190M to $202MMar 23, 2017 to Mar 27, 2018
- Individual RAUM · unset to 2295383.0Mar 23, 2017 to Mar 27, 2018
- RAUM · $190M to $202MMar 23, 2017 to Mar 27, 2018
- Accounts · 6 to 5Mar 24, 2016 to Mar 23, 2017
- HQ city · unset to CARSON CITYMar 24, 2016 to Mar 23, 2017
- HQ state · unset to NVMar 24, 2016 to Mar 23, 2017
- Discretionary RAUM · $161M to $190MMar 24, 2016 to Mar 23, 2017
- RAUM · $161M to $190MMar 24, 2016 to Mar 23, 2017
- Accounts · 7 to 6Mar 23, 2015 to Mar 24, 2016
- Discretionary RAUM · $182M to $161MMar 23, 2015 to Mar 24, 2016
- RAUM · $182M to $161MMar 23, 2015 to Mar 24, 2016
- Accounts · 9 to 7Mar 27, 2014 to Mar 23, 2015
- Discretionary RAUM · $192M to $182MMar 27, 2014 to Mar 23, 2015
- RAUM · $192M to $182MMar 27, 2014 to Mar 23, 2015
- Accounts · 13 to 9Mar 28, 2013 to Mar 27, 2014
- Discretionary RAUM · $214M to $192MMar 28, 2013 to Mar 27, 2014
- RAUM · $214M to $192MMar 28, 2013 to Mar 27, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026